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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (3) | 07/22/2013 | A | 1,300 | (4) | (4) | Common Stock | 1,300 (4) | $ 0 | 1,300 (4) | D | ||||
Restricted Stock Units | (3) | (5) | (5) | Common Stock | 650 (5) | 650 (5) | D | ||||||||
Restricted Stock Units | (3) | (6) | (6) | Common Stock | 325 (6) | 325 (6) | D | ||||||||
Restricted Stock Units | (3) | 07/23/2013 | M | 650 | (2) | (2) | Common Stock | 650 (2) | $ 0 | 650 (2) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Mc Carthy Liam 140 JOHN JAMES AUDUBON PARKWAY AMHERST, NY 14228 |
X |
Mary C. O'Connor, Power of Attorney for Liam McCarthy | 07/24/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Represents shares granted to reporting person pursuant to the Columbus McKinnon Corporation 2010 Long Term Incentive Plan dated as of July 26, 2010. |
(2) | Originally a 1,300 restricted stock unit award, 650 restricted stock units became fully vested and non-forfeitable on July 23, 2013. The remaining 650 restricted stock units become fully vested and non-forfeitable 50% on July 23, 2014 and 50% on July 23, 2015. |
(3) | Each restricted stock unit represents a contingent right to receive one (1) share of Columbus McKinnon Corporation common stock. |
(4) | Represents restricted stock units issued to reporting person under the Columbus McKinnon Corporation 2010 Long Term Incentive Plan dated as of July 26, 2010, subject to forfeiture; units become fully vested and non-forfeitable 50% on July 22, 2014, 25% on July 22, 2015 and 25% on July 22, 2016, if reporting person remains a director of issues. |
(5) | Originally a 1,300 restricted stock unit award, 650 restricted stock units became fully vested and non-forfeitable on July 25, 2012. The remaining 650 restricted stock units become fully vested and non-forfeitable 50% on July 25, 2013 and 50% on July 25, 2014, if reporting person remains a director of issuer. |
(6) | Originally a 1,300 restricted stock unit award, 650 restricted stock units became fully vested and non-forfeitable on July 26, 2011 and 325 restricted stock units became fully vested and non-forfeitable on July 26, 2012. The remaining 325 restricted stock units become fully vested and non-forfeitable on July 26, 2013, if reporting person remain a director of issuer. |